DIEM MAICounting House
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FORTY-SEVEN
POSTED LINES.

Four ledgers, forty-seven entries. The dealing desk runs folios D-01 to D-09, the funds desk F-10 to F-25, the trust desk T-26 to T-33, and the exchange desk X-34 to X-47. Every line is a service the house keeps open.

BOOK I

DEALING DESK

Principal Dealing & Speculation · D-01 → D-09
D-01Individuals investing in financial contracts on own accountOwn-account contract positions taken as principalPrincipal
D-02Investment clubsMember capital pooled and invested under club rulesClub
D-03Mineral royalties or leases dealingActing as principal in royalty and lease dealings to investorsPrincipal
D-04Mortgage dealers, buying and sellingBuying and selling mortgage instruments as dealerDealer
D-05Oil royalty dealingPrincipal-side oil royalty transactions for investorsPrincipal
D-06Securities speculators for own accountSpeculative positions in securities on own accountPrincipal
D-07Tax liens dealingActing as principal in tax-lien dealings to investorsPrincipal
D-08Venture capital companiesVenture capital placements and positionsFund
D-09Viatical settlement companiesViatical settlement positions and dealingsPrincipal
BOOK II

FUNDS DESK

Advisory, Planning & Fund Management · F-10 → F-25
F-10Certified financial planners, customizedFee-paid, client-customized certified financial planningFee-only
F-11Financial investment advice services, customizedCustomized investment advice, fees paid by clientFee-only
F-12Financial planning services, customizedTailored financial planning engagements for a feeFee-only
F-13Investment advice consulting services, customizedClient-paid consulting on investment decisionsFee-only
F-14Investment advice counseling services, customizedCustomized investment counseling, fees paid by clientFee-only
F-15Investment advisory services, customizedCustomized advisory engagements under fee arrangementsFee-only
F-16Investment managementDiscretionary and managed account mandatesManaged
F-17Managing investment fundsFund-level investment management mandatesManaged
F-18Managing mutual fundsMutual fund portfolio managementManaged
F-19Managing personal investment trustsTrust-level investment management for personal trustsManaged
F-20Managing trustsTrust asset management under fiduciary mandatesManaged
F-21Mutual fund managingMutual fund management engagementsManaged
F-22Pension fund managingPension fund portfolio managementManaged
F-23Personal investments trusts, managingManagement of personal investment trust assetsManaged
F-24Portfolio fund managingPortfolio-level fund managementManaged
F-25Private equity fund managingPrivate equity fund management mandatesManaged
BOOK III

TRUST DESK

Trust, Escrow & Fiduciary Administration · T-26 → T-33
T-26Administrators of private estatesPrivate estate administration under appointmentFiduciary
T-27Bank trust officesTrust-office functions for banking institutionsFiduciary
T-28Escrow agencies (except real estate)Non-real-estate escrow holding and releaseCustody
T-29Fiduciary agencies (except real estate)Fiduciary agency services outside real estateFiduciary
T-30Personal investments trust administrationAdministrative services for personal investment trustsAdmin
T-31Securities custodiansCustody and safekeeping of securitiesCustody
T-32Trust administration, personal investmentPersonal investment trust administration servicesAdmin
T-33Trust companies, nondepositoryNondepository trust company functionsTrust
BOOK IV

EXCHANGE DESK

Clearing, Transfer, Quotation & Holder Services · X-34 → X-47
X-34Business start-up fundraising via crowdfunding platformStart-up capital raising through crowdfunding channelsRaising
X-35Clearinghouses, commodity or securities exchangeExchange clearinghouse functionsClearing
X-36Deposit brokersDeposit brokerage placement servicesBroker
X-37Exchange clearinghouses, commodities or securitiesCommodity and securities exchange clearingClearing
X-38Gas lease brokers' officesGas lease brokerage officesBroker
X-39Oil lease brokers' officesOil lease brokerage officesBroker
X-40Protective committees, security holdersSecurity-holder protective committee servicesHolder
X-41Quotation services, securitiesSecurities quotation and price servicesQuoting
X-42Quotation services, stockStock quotation servicesQuoting
X-43Securities holders' protective servicesProtective services for securities holdersHolder
X-44Securities transfer agenciesSecurities transfer and registration agency workTransfer
X-45Stock quotation servicesEquity quotation disseminationQuoting
X-46Stock transfer agenciesStock transfer and registrar agency servicesTransfer
X-47Virtual currency trading exchange clearinghousesClearing functions for virtual currency exchangesClearing

YOUR ENTRY
NOT POSTED YET?

The four books list open lines of business, not closed accounts. If your engagement belongs in our ledgers, write to the desk.

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